#### § 171.26 Exemptions.

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

(a) *General exemptions.* If exempt records are the subject of an access request, the Department will advise the requester of their existence and of the name and address of the source agency, unless that information is itself exempt from disclosure.

(1) Individuals may not have access to records maintained by the Department that are maintained or originated by the Central Intelligence Agency under 5 U.S.C. 552a(j)(1).

(2) In accordance with 5 U.S.C. 552a(j)(2), individuals may not have access to records maintained or originated by an agency or component thereof that performs as its principal function any activity pertaining to the enforcement of criminal laws, including police efforts to prevent, control, or reduce crime or to apprehend criminals, and the activities of prosecutors, courts, correctional, probation, pardon, or parole authorities, and which consists of:

(i) Information compiled for the purpose of identifying individual criminal offenders and alleged offenders and consisting only of identifying data and notations of arrests, the nature and disposition of criminal charges, sentencing, confinement, release, and parole and probation status;

(ii) Information compiled for the purpose of a criminal investigation, including reports of informants and investigators, and associated with an identifiable individual; or

(iii) Reports identifiable to an individual compiled at any stage of the process of enforcement of the criminal laws from arrest or indictment through release from supervision. The reason for invoking these exemptions is to ensure effective criminal law enforcement processes. Records maintained by the Department in the following systems of records are exempt from all of the provisions of the PA except paragraphs (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (e)(7), (e)(9), (e)(10), and (e)(11), and (i), to the extent to which they meet the criteria of section (j)(2) of 5 U.S.C. 552a. The names of the systems correspond to those published in the Federal Register by the Department.

| Title | No. |
| --- | --- |
| Information Access Program Records | STATE-35. |
| Office of Inspector General Investigation Management System | STATE-53. |
| Risk Analysis and Management | STATE-78. |
| Security Records | STATE-36. |

Table 1 to Paragraph (a)(2)(iii)

(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).

| Title | No. |
| --- | --- |
| 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. |
| Office of Inspector General Investigation Management System | STATE-53. |
| 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. |
| Records of Domestic Accounts Receivable | STATE-23. |
| Records of the Office of the Assistant Legal Adviser for International Claims and Investment Disputes | STATE-54. |
| Records of the Office of White House Liaison | STATE-34. |
| Refugee Records | STATE-59. |
| Rover Records | STATE-41. |
| Security Records | STATE-36. |
| Special Presidential Envoy for Hostage Affairs and Related Records | STATE-60 |
| Visa Records | STATE-39. |

Table 2 to Paragraph (b)(1)

(2) *Exempt under 5 U.S.C. 552a(k)(2).* Records contained within the following systems of records are exempt under this section to the extent that they consist of investigatory material compiled for law enforcement purposes, subject to the limitations set forth in 5 U.S.C. 552a(k)(2).

| Title | No. |
| --- | --- |
| 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. |
| Office of Foreign Missions Records | STATE-81. |
| Office of Inspector General Investigation Management System | STATE-53. |
| 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. |
| Risk Analysis and Management Records | STATE-78. |
| Security Records | STATE-36. |
| Special Presidential Envoy for Hostage Affairs and Related Records | STATE-60 |
| Visa Records | STATE-39. |

Table 3 to Paragraph (b)(2)

(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.

| Title | No. |
| --- | --- |
| 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. |

Table 4 to Paragraph (b)(3)

(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.

| Title | No. |
| --- | --- |
| Foreign Service Institute Records | STATE-14. |
| Human Resources Records | STATE-31. |
| Information Access Programs Records | STATE-35. |
| Overseas Citizens Services Records | STATE-05. |
| Personnel Payroll Records | STATE-30. |
| Security Records | STATE-36. |

Table 5 to Paragraph (b)(4)

(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.

| Title | No. |
| --- | --- |
| 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. |
| Office of Inspector General Investigation Management System | STATE-53. |
| Overseas Citizens Services Records | STATE-25. |
| Personality Cross-Reference Index to the Secretariat Automated Data Index | STATE-28. |
| Records Maintained by the Office of Civil Rights | STATE-09. |
| 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. |

Table 6 to Paragraph (b)(5)

(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.

| Title | No. |
| --- | --- |
| 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. |

Table 7 to Paragraph (b)(6)

(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.

| Title | No. |
| --- | --- |
| Human Resources Records | STATE-31. |
| Information Access Programs Records | STATE-35. |
| Overseas Citizens Services Records | STATE-25. |
| 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. |

Table 8 to Paragraph (b)(7)

[88 FR 71740, Oct. 18, 2023, as amended at 88 FR 78232, Nov. 15, 2023]