82 FR 43637 - Privacy Act of 1974; System of Records

DEPARTMENT OF STATE

Federal Register Volume 82, Issue 179 (September 18, 2017)

Ombudsperson Mechanism Records includes information about individuals who have submitted requests relating to national security access to data transmitted to the United States pursuant to the Privacy Shield Framework Ombudsperson Mechanism and any similar mechanism established between the United States and another country or countries. The system assists in the overall management of the request review process and the provision of responses thereto by facilitating accurate and up-to-date record keeping.

[Federal Register Volume 82, Number 179 (Monday, September 18, 2017)]
[Notices]
[Pages 43637-43640]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19818]


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DEPARTMENT OF STATE

[Public Notice: 10126]


Privacy Act of 1974; System of Records

AGENCY: Department of State.

ACTION: Notice of a New System of Records.

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SUMMARY: Ombudsperson Mechanism Records includes information about 
individuals who have submitted requests relating to national security 
access to data transmitted to the United States pursuant to the Privacy 
Shield

[[Page 43638]]

Framework Ombudsperson Mechanism and any similar mechanism established 
between the United States and another country or countries. The system 
assists in the overall management of the request review process and the 
provision of responses thereto by facilitating accurate and up-to-date 
record keeping.

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of 
records notice is effective upon publication, with the exception of the 
routine uses that are subject to a 30-day period during which 
interested persons may submit comments to the Department. Please submit 
any comments by October 18, 2017.

ADDRESSES: Questions can be submitted by mail or email. If mail, please 
write to: U.S Department of State; Office of Global Information 
Systems, Privacy Staff; A/GIS/PRV; SA-2, Suite 8100; Washington, DC 
20522-0208. If email, please address the email to the Chief Privacy 
Officer, Margaret P. Grafeld, at [email protected]. Please write 
``Ombudsperson Mechanism Records, State-83'' on the envelope or the 
subject line of your email.

FOR FURTHER INFORMATION CONTACT: Margaret P. Grafeld, Chief Privacy 
Officer; U.S. Department of State; Office of Global Information 
Services, A/GIS/PRV; SA-2, Suite 8100; Washington, DC 20522-0208.

SUPPLEMENTARY INFORMATION: None.
SYSTEM NAME AND NUMBER:
    Ombudsperson Mechanism Records, State-83.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Department of State (``Department''), located at 2201 C Street NW., 
Washington, DC 20520, and within a government cloud provided, 
implemented, and overseen by the Department's Enterprise Server 
Operations Center (ESOC), 2201 C Street NW., Washington, DC 20520.

SYSTEM MANAGER(S):
    International Communication and Information Policy Officer for 
Europe, Office of Communications & Information Policy, Bureau of 
Economic and Business Affairs; U.S. Department of State, 2201 C St. 
Washington, DC 20520. System Managers can be reached at (202) 647-8784.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    (a) State Department Basic Authorities Act of 1956, as amended (22 
U.S.C. 2708 et seq.); (b) Privacy Shield Framework (81 FR 51042).

PURPOSE(S) OF THE SYSTEM:
    The EU-U.S. Privacy Shield Framework and the Swiss-U.S. Privacy 
Shield Framework create a mechanism for companies on both sides of the 
Atlantic to comply with EU data protection requirements when 
transferring personal data from the European Union and Switzerland, 
respectively, to the United States in support of transatlantic 
commerce. The Frameworks each established an Ombudsperson Mechanism to 
address appropriate inquiries by individuals relating to U.S. 
Intelligence Community access to personal data transmitted from the EU 
or Switzerland to the United States through Privacy Shield and related 
commercial transfer mechanisms. The information will be used by the 
Ombudsperson to ensure that requests are properly investigated and 
addressed in a timely manner, and that the relevant U.S. laws have been 
complied with or, if the laws have been violated, that the situation 
has been remedied.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals whose requests relating to national security access to 
data transmitted from the European Union to the United States under the 
Privacy Shield Framework (81 FR 51042), and the EU-U.S. Privacy Shield 
Ombudsperson Mechanism Regarding Signals Intelligence (``Ombudsperson 
Mechanism'') thereunder, are submitted by the ``EU individual complaint 
handling body'' to the Department. Individuals who submit requests 
relating to national security access to data transmitted under any 
similar mechanism established between the United States and another 
country or countries. The Privacy Act defines an individual at 5 U.S.C. 
552a(a)(2) as a United States citizen or lawful permanent resident.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records may include biographic and contact information, such 
as name, address, email address, phone number, and information about 
residency or nationality, as well as other information that requesters 
and foreign government officials include in the requests submitted to 
the Department. The records also may include information about an 
individual's request and the processing of that request.

RECORD SOURCE CATEGORIES:
    Individuals who submit requests for review under the Privacy Shield 
Ombudsperson Mechanism or similar arrangement are the primary source of 
record information, although that information is provided to the 
Department by the EU Individual Complaint Handling Body or 
corresponding body under similar arrangements. Additional information 
necessary to process individual requests may be provided by these 
bodies as well as other federal agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    The information in Ombudsperson Mechanism Records may be disclosed:
    A. To other Federal Agencies or bodies to facilitate the 
consideration, processing and resolution of requests consistent with 
Section 2 of the Ombudsperson Mechanism (accessed via https://www.state.gov/e/privacyshield/ombud/).
    B. To an EU individual complaint handling body and any other 
complaint handling body established under a similar arrangement with 
another country to coordinate the discharge of commitments made 
therein. For example, the Privacy Shield Ombudsperson will communicate 
directly with the EU individual complaint handling body regarding 
requests submitted pursuant to the Ombudsperson Mechanism for reasons 
including acknowledging receipt of the request from the EU individual 
complaint handling body, requesting additional information necessary to 
perfect the request, and providing a final response. The EU individual 
complaint handling body will in turn be responsible for all 
communications with individuals who submit requests.
    C. To a contractor of the Department having need for the 
information in the performance of the contract, but not operating a 
system of records within the meaning of 5 U.S.C. 552a(m).
    D. To appropriate agencies, entities, and persons when (1) the 
Department of State suspects or has confirmed that there has been a 
breach of the system of records; (2) the Department of State has 
determined that as a result of the suspected or confirmed breach there 
is a risk of harm to individuals, the Department of State (including 
its information systems, programs, and operations), the Federal 
Government, or national security; and (3) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department of State efforts to respond to the 
suspected or confirmed breach or to prevent, minimize, or remedy such 
harm.

[[Page 43639]]

    E. To another Federal agency or Federal entity, when the Department 
of State determines that information from this system of records is 
reasonably necessary to assist the recipient agency or entity in (1) 
responding to a suspected or confirmed breach or (2) preventing, 
minimizing, or remedying the risk of harm to individuals, the recipient 
agency or entity (including its information systems, programs, and 
operations), the Federal Government, or national security, resulting 
from a suspected or confirmed breach.
    F. To an agency, whether federal, state, local or foreign, where a 
record indicates a violation or potential violation of law, whether 
civil, criminal or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule or order 
issued pursuant thereto, so that the recipient agency can fulfill its 
responsibility to investigate or prosecute such violation or enforce or 
implement the statute, rule, regulation, or order.
    G. To the Federal Bureau of Investigation, the Department of 
Homeland Security, the National Counter-Terrorism Center (NCTC), the 
Terrorist Screening Center (TSC), or other appropriate federal 
agencies, for the integration and use of such information to protect 
against terrorism, if that record is about one or more individuals 
known, or suspected, to be or to have been involved in activities 
constituting, in preparation for, in aid of, or related to terrorism. 
Such information may be further disseminated by recipient agencies to 
Federal, State, local, territorial, tribal, and foreign government 
authorities, and to support private sector processes as contemplated in 
Homeland Security Presidential Directive/HSPD-6 and other relevant laws 
and directives, for terrorist screening, threat-protection and other 
homeland security purposes.
    H. To a congressional office from the record of an individual in 
response to an inquiry from the Congressional office made at the 
request of that individual.
    I. To a court, adjudicative body, or administrative body before 
which the Department is authorized to appear when (a) the Department; 
(b) any employee of the Department in his or her official capacity; (c) 
any employee of the Department in his or her individual capacity where 
the U.S. Department of Justice (``DOJ'') or the Department has agreed 
to represent the employee; or (d) the Government of the United States, 
when the Department determines that litigation is likely to affect the 
Department, is a party to litigation or has an interest in such 
litigation, and the use of such records by the Department is deemed to 
be relevant and necessary to the litigation or administrative 
proceeding.
    J. To the Department of Justice (``DOJ'') for its use in providing 
legal advice to the Department or in representing the Department in a 
proceeding before a court, adjudicative body, or other administrative 
body before which the Department is authorized to appear, where the 
Department deems DOJ's use of such information relevant and necessary 
to the litigation, and such proceeding names as a party or interests:
    (a) The Department or any component of it;
    (b) Any employee of the Department in his or her official capacity;
    (c) Any employee of the Department in his or her individual 
capacity where DOJ has agreed to represent the employee; or
    (d) The Government of the United States, where the Department 
determines that litigation is likely to affect the Department or any of 
its components.
    K. To the National Archives and Records Administration and the 
General Services Administration: For records management inspections, 
surveys and studies; following transfer to a Federal records center for 
storage; and to determine whether such records have sufficient 
historical or other value to warrant accessioning into the National 
Archives of the United States.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are stored both in hard copy and on electronic media. A 
description of standard Department of State policies concerning storage 
of electronic records is found here https://fam.state.gov/FAM/05FAM/05FAM0440.html. All hard copies of records containing personal 
information are maintained in secured file cabinets in restricted 
areas, access to which is limited to authorized personnel only.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    By individual name or other personal identifier, if available, and 
by a tracking number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    The Department of State is in the process of developing a retention 
schedule for these records. Once the schedule is approved by the 
National Archives and Records Administration, the Records will be 
retired in accordance with published Department of State Records 
Disposition Schedule that shall be published here: https://foia.state.gov/Learn/RecordsDisposition.aspx. More specific information 
may be obtained by writing to U.S. Department of State; Director, 
Office of Information Programs and Services; A/GIS/IPS; SA-2, Suite 
8100; Washington, DC 20522-0208.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    All users are given cyber security awareness training that covers 
the procedures for handling Sensitive but Unclassified information, 
including personally identifiable information (PII). Annual refresher 
training is mandatory. In addition, all Foreign Service and Civil 
Service employees and those Locally Employed Staff who handle PII are 
required to take the Foreign Service Institute distance learning course 
instructing employees on privacy and security requirements, including 
the rules of behavior for handling PII and the potential consequences 
if it is handled improperly. Before being granted access to 
Ombudsperson Mechanism Records, a user must first be granted access to 
the Department of State computer system.
    Department of State employees and contractors may remotely access 
this system of records using non-Department owned information 
technology. Such access is subject to approval by the Department's 
access program, and is limited to information maintained in 
unclassified information systems. Remote access to the Department's 
information systems is configured in compliance with OMB Circular A-130 
multifactor authentication requirements and includes a time-out 
function.
    All Department of State employees and contractors with authorized 
access to records maintained in this system of records have undergone a 
thorough background security investigation. Access to the Department of 
State, its annexes and posts abroad is controlled by security guards 
and admission is limited to those individuals possessing a valid 
identification card or individuals under proper escort. While the 
majority of records in Ombudsperson Mechanism will be in an electronic 
format, paper mailings from the EU individual complaint handling body 
could be included in the system. All paper records containing personal 
information are maintained in secured file cabinets in restricted 
areas, access to which is limited to authorized personnel only. Access 
to computerized files is password-protected and under the direct 
supervision of the system manager. The system manager has the 
capability of printing audit trails of access from the computer media,

[[Page 43640]]

thereby permitting regular and ad hoc monitoring of computer usage.
    When it is determined that a user no longer needs access, the user 
account is disabled. The Department of State will store records 
maintained in this system of records in cloud systems. All cloud 
systems that provide IT services and process Department of State 
information must be authorized to operate by the Department of State 
Authorizing Official and Senior Agency Official for Privacy. Only 
information that conforms with Department-specific definitions for 
FISMA low or moderate categorization are permissible for cloud usage 
unless specifically authorized by the Department's Cloud Computing 
Governance Board. The categorization of information in this system of 
records is designated as low. Prior to operation, all Cloud systems 
must comply with applicable security measures that are outlined in 
FISMA, FedRAMP, OMB guidance, NIST Federal Information Processing 
Standards (FIPS) and Special Publications, and Department of State 
policy and standards.

RECORD ACCESS PROCEDURES:
    Individuals who wish to gain access to or to amend records 
pertaining to themselves should write to U.S. Department of State; 
Director, Office of Information Programs and Services; A/GIS/IPS; SA-2, 
Suite 8100; Washington, DC 20522-0208. The individual must specify that 
he or she wishes the Ombudsperson Mechanism Records to be checked. At a 
minimum, the individual must include: Full name (including maiden name, 
if appropriate) and any other names used; current mailing address and 
zip code; date and place of birth; notarized signature or statement 
under penalty of perjury; a brief description of the circumstances that 
caused the creation of the record (including the city and/or country 
and the approximate dates) which gives the individual cause to believe 
that the Ombudsperson Mechanism Records include records pertaining to 
him or her. Detailed instructions on Department of State procedures for 
accessing and amending records can be found at https://foia.state.gov/Request/Guide.aspx.

CONTESTING RECORD PROCEDURES:
    Individuals who wish to contest record procedures should write to 
U.S. Department of State; Director, Office of Information Programs and 
Services; A/GIS/IPS; SA-2, Suite 8100; Washington, DC 20522-0208.

NOTIFICATION PROCEDURES:
    Individuals who have reason to believe that this system of records 
may contain information pertaining to them may write to U.S. Department 
of State; Director, Office of Information Programs and Services; A/GIS/
IPS; SA-2, Suite 8100; Washington, DC 20522-0208. The individual must 
specify that he or she wishes the Ombudsperson Mechanism Records to be 
checked. At a minimum, the individual must include: Full name 
(including maiden name, if appropriate) and any other names used; 
current mailing address and zip code; date and place of birth; 
notarized signature or statement under penalty of perjury; a brief 
description of the circumstances that caused the creation of the record 
(including the city and/or country and the approximate dates) which 
gives the individual cause to believe that the Ombudsperson Mechanism 
Records include records pertaining to him or her.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

Mary R. Avery,
Senior Agency Official for Privacy, Senior Advisor, Office of Global 
Information Services, Bureau of Administration, Department of State.
[FR Doc. 2017-19818 Filed 9-15-17; 8:45 am]
 BILLING CODE 4710-24-P